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Reg SHO Threshold List


REG SHO Overview

As defined in Rule 203(c)(6) of Regulation SHO, a “threshold security” is any equity security of any issuer that is registered under Section 12 of the Exchange Act, or that is required to file reports under Section 15(d) of the Exchange Act (commonly referred to as reporting securities), where, for five consecutive settlement days:

  • There are aggregate fails to deliver at a registered clearing agency of 10,000 shares or more per security;
  • The level of fails is equal to at least one-half of one percent of the issuer’s total shares outstanding; and
  • The security is included on a list published by a self-regulatory organization (SRO).

A security ceases to be a threshold security if it does not exceed the specified level of fails for five consecutive settlement days.

Market Category Counts

NASDAQ (Q,G,S)
52

File Download

Trade Date Download Link File Creation Timestamp
Thursday, December 26, 2024 Download 12/26/2024 11:00:08 PM

Threshold Security List

Symbol Security Name Market Category Reg SHO Threshold Flag Rule 3210
AAPD DIREXION SHS ETF TR DAILY AAPL G Y N
AMOD ALPHA MODUS HLDGS INC CL A G Y N
APDN APPLIED DNA SCIENCES INC COM P S Y N
AVGX TIDAL TR II DEFIANCE DAILY TAR G Y N
CANC TEMA ETF TR ONCOLOGY ETF G Y N
CETX CEMTREX INC COM PAR $.001 NEW S Y N
CRKN CROWN ELECTROKINETICS CORP COM S Y N
CYN CYNGN INC COM NEW S Y N
DPRO DRAGANFLY INC (CANADA) S Y N
EURKR EUREKA ACQUISITION CORP RT 01/ S Y N
GRRR GORILLA TECHNOLOGY GROUP INC O S Y N
GXAI GAXOS.AI INC COM PAR $0.0001 ( S Y N
HWAY THEMES ETF TR US INFRASTRUCTUR G Y N
JFBR JEFFS BRANDS LTD SHS NEW 2024 S Y N
KZIA KAZIA THERAPEUTICS LTD ADR LEV S Y N
LDTC LEDDARTECH HLDGS INC COM(CAN) G Y N
LITM SNOW LAKE RESOURCES LTD. COMMO S Y N
LUXH LUXURBAN HOTELS INC COM NEW S Y N
MSPR MSP RECOVERY INC CL A PAR 0.00 S Y N
MULN MULLEN AUTOMOTIVE INC COM PAR S Y N
NIVF NEWGENIVF GROUP LIMITED CL A G Y N
NKLA NIKOLA CORP COM NEW Q Y N
NMHI NATURES MIRACLE HLDG INC COM N G Y N
NNE NANO NUCLEAR ENERGY INC. COMMO S Y N
NTCL NETCLASS TECHNOLOGY INC USD CL S Y N
NUKK NUKKLEUS INC NEW COM NEW G Y N
NVNI NVNI GROUP LTD SHS (CYM) S Y N
ONCO ONCONETIX, INC. COMMON STOCK S Y N
PLL PIEDMONT LITHIUM INC COM (DE) S Y N
PLTU DIREXION SHS ETF TR DAILY PLTR G Y N
PRZO PARAZERO TECHNOLOGIES LTD SHS S Y N
QBIG INVESCO ACTIVELY MANAGED ETF T G Y N
QTUM ETF SER SOLUTIONS DEFIANCE QUA G Y N
QUBT QUANTUM COMPUTING INC COM S Y N
RKDA ARCADIA BIOSCIENCES INC COM PA S Y N
RNWWW RENEW ENERGY GLOBAL PLC WT EXP Q Y N
SARK INVESTMENT MANAGERS SER TR II G Y N
SHLT SHL TELEMEDICINE LTD SPONSORED S Y N
SIDU SIDUS SPACE INC CL A COM NEW S Y N
SMST TIDAL TR II DEFIANCE DAILY TAR G Y N
SOBR SOBR SAFE INC COM PAR $0.001 S Y N
SVMH SRIVARU HLDG LTD ORD SH (CYM) G Y N
TRNR INTERACTIVE STRENGTH INC COM P S Y N
TRUG TRUGOLF HLDGS INC CL A G Y N
TSDD GRANITESHARES ETF TR 2X SHORT G Y N
VCIG VCI GLOBAL LTD SHS NEW (VGB) S Y N
VMAR VISION MARINE TECHNOLOGIES INC S Y N
VOLT TEMA ETF TR ELECTRIFICATION ET G Y N
WBUY WEBUY GLOBAL LTD. USD ORD SHS S Y N
WKEY WISEKEY INTL HLDGS S A SPONSOR G Y N
WYHG WING YIP FOOD HLDGS GROUP LTD S Y N
ZCAR ZOOMCAR HLDGS INC COM COM NEW G Y N

Effective Monday, November 17, 2014, the Regulation SHO Threshold List for OTC Equities (i.e. OTCBB and Other OTC) will no longer be available on NasdaqTrader.com. From that date forward, it will be available only on the OTC Reporting Facility (ORF) pages of FINRA.org.

Historical Reg SHO Threshold Lists for OTC Equities will continue to be available on NasdaqTrader.com for dates prior to November 17, 2014.

This change does not affect the Reg SHO Threshold list for Nasdaq markets which will continue to be displayed on NasdaqTrader.com.

Questions regarding this notice can be directed to FINRA Operations at (866) 776-0800.